Capital Markets Compliance

In recent years the investment services industry has faced a broad increase in new regulatory requirements. The financial crisis was a key factor, forcing national and international institutions to release new legislations to protect investors’ rights and secure the stability of financial markets.

The regulatory pressures continue to increase. New requirements such as MiFID II, EMIR, MAR and FTT have to be implemented in shorter periods with a deeper impact on core processes and business models. Being non-compliant is not an option as it results in enormous individual and enterprise liability, loss of reputation and comprehensive interventions by supervising bodies.

Nearly all the market players are affected, including:

Banks

Investment companies and asset managers

Securities services providers

Exchanges

At BearingPoint we can help you understand the impact of regulatory requirements and implement appropriate risk mitigation tools and controls with ongoing compliance.

How BearingPoint brings value

With our Capital Markets Compliance (CMC) solution you can analyze the impact of new regulations on your business model, processes, IT and entities and implement an effective compliance program that still enables you to run an efficient and successful investment business.

Our solution includes:

Analyzing the impact of new regulations

Setting up a road map for enhancing a capital markets compliance program